FTA Safety and Security Certification

FTA Safety and Security Certification Practical Solutions to a Complex Process Timothy Borchers Yolanda Favors APTA Rail Conference 2017 June 13, 2017

What is Safety and Security Certification ( SSC )? 49 CFR 659 Mitigate Prepare SSC Evaluate Identify 2

Developing Regulations Public Transportation Safety Program 49 CFR Part 670 National Public Transportation Safety Plan 49 CFR Part 673 Public Transportation Agency Safety Plans 49 CFR Part 673 State Safety Oversight Program 49 CFR Part 674 Public Transportation Safety Certification Training Program 49 CFR Part 672 3

Understanding the SSC Process Design Phase Construction Phase Testing Phase Pre-revenue Operations 4

Tactical Methods to Facilitate an Effective/Timely SSC Process

Political Environment/Strategic Plan Know Supporters and Opponents Understand Legislative Environment and Process Know Real Decision Makers 6

Staff Technical Capacity to Navigate SSC Evaluate Personnel Resources and Necessary Training 7

Face-to-Face Discussions with Agency Key Personnel Develop a Rapport Understand Agency s Operational and Financial Limitations Develop Immediate and Long Term Objectives Understand Available vs. Required Resources 8

Evaluate Current Status of SSC Process Know Stage in SSC Process and Required Tasks for Revenue Service Operations & Maintenance Design Pre-Revenue Operations Testing & Commissioning Construction 9

Physical Inspection of System s Infrastructure and Vehicles Know Actual State of Infrastructure and Required Repairs, Updates, and Certifications for Revenue Service 10

Are You Selecting the Right SSC Project Team?

What Considerations are You Taking in Account? Size and Complexity of the System Agency Resources New Start or Extension Staff Technical Capacity 12

Are Your Team Members Wearing the Right Hat? Executive Management First Responders Regulators 13

Are You Considering the Regulators? SSOA FTA/PMOC 14

Recommended Project Team Members Launch Compliance Attorney Chief Engineer Prominent FTA Attorney Scheduler Frontline Personnel Document Control /Technical Writer (QA/QC) Security Specialist 15

Effects of Adding Key Positions Pre-Revenue Organizational Chart Chief Executive Key Supervision /accountability Agency Chief Comm. Chief Operating Communication SSO PRO Only Director of Operations & Maintenance 16

Effects of Adding Key Positions Pre-Revenue Organizational Chart Chief Executive Key Supervision /accountability Agency Chief Comm. Chief Operating Communication SSO PRO Only Director of Operations & Maintenance Launch 17

Effects of Adding Key Positions Pre-Revenue Organizational Chart Chief Executive Key Supervision /accountability Agency Chief Comm. Chief Operating Communication SSO PRO Only Director of Operations & Maintenance Launch Compliance Operations MOW Maintenance Chief Engineer 18

Effects of Adding Key Positions Pre-Revenue Organizational Chart Chief Executive Key Supervision /accountability Agency Chief Comm. Chief Operating Communication SSO PRO Only Director of Operations & Maintenance Launch Compliance Operations MOW Maintenance Chief Engineer Technical Writer/ Doc. Control Subject Matter Expert Operator Trainer Dispatcher Operations Supervisor Maintenance Supervisors Scheduler Operators Maintenance Inventory Specialist Mechanics Laborers 19

Effects of Adding Key Positions Pre-Revenue Organizational Chart Chief Executive Key Supervision /accountability Agency Chief Comm. Chief Operating Communication SSO PRO Only Director of Operations & Maintenance Launch Chief Safety & Security Compliance Operations MOW Maintenance Chief Engineer Security Specialist Technical Writer/ Doc. Control Subject Matter Expert Operator Trainer Dispatcher Operations Supervisor Maintenance Supervisors Foreman Scheduler Operators Maintenance Inventory Specialist Mechanics Laborers 20

Effects of Adding Key Positions Pre-Revenue Organizational Chart Chief Executive Key Supervision /accountability Agency Chief Comm. Chief Operating Communication SSO PRO Only State Safety (SSO) Director of Operations & Maintenance Launch FTA Attorney Chief Safety & Security Compliance Operations MOW Maintenance Chief Engineer Security Specialist Technical Writer/ Doc. Control Subject Matter Expert Operator Trainer Dispatcher Operations Supervisor Maintenance Supervisors Foreman Scheduler Operators Maintenance Inventory Specialist Mechanics Laborers 21

How Do You Structure Your Committees?

Committee Checklist Development Did you develop committees pursuant to the SSMP? Did you develop committees unique to your system? Do have the essential committee members? Do your committee members have technical capacity? Did you develop an efficient meeting schedule? Procedures Did you create a charter and bylaws? Do you have detailed agendas and minutes? Do committee members understand the approval process? Do your committee members understand their duties and responsibilities? Did you train your committee members on the SSC process? 23

Committee Structure Rail Activation Committee Safety and Security Review Committee Fire Life Safety Committee SSO Safety Coordination Committee Launch (Chair) Launch Launch Launch (Chair) CSSO CSSO (Chair) CSSO (Chair) CSSO Rail Director Rail Director Rail Director Rail Director Compliance Compliance Compliance Compliance Chief Engineer Chief Engineer Chief Engineer Chief Engineer SME SME SME SME Operations Operations Maintenance MOW Maintenance MOW Security Specialist Police Fire Alignment Hospitals * Document Control and Scheduler attend all meetings. SSO 24

Benefits of Meeting Recordings 25

Benefits of Meeting Recordings 26

Tips for Utilizing a Successful Document Matrix and Control System SSC Documentation Comprehensive record that hazards and vulnerabilities have been identified/addressed Flowcharts Denotes and manages document approval procedures (QA/QC) SSO Meetings Encourages full cooperation and coordination with SSO 27

Nine Column Ideas for the Document Matrix Group Due Date SSO Approval Document Title SSRC Approval OP54 Approval Ball In Court SSO Submission SSRR Approval 28

Document Flowcharts Simplify Connections and Relationships Program Management Plan Safety and Security Management Plan Threat and Vulnerability Analysis Operational Hazard Analysis Preliminary Hazard Analysis Rail Activation Plan Safety and Security Certification Plan System Safety Program Plan Security Emergency Preparedness Plan 29

Document Flowcharts Simplify Connections and Relationships SSCP System Integrated Test Plan Pre-revenue Operations Certifiable Elements List Safety & Security Certification Verification Report 30

Document Flowcharts Simplify Connections and Relationships O&M Rulebook Training Plan O&M Plans SOPs Emergency Exercise Program MOUs SMS Implementation Plan Transit Asset Management Title VI 33

Document Approval Flowcharts Clarify the Approval Process Chief Safety Approval Safety & Security Review Committee Approval SSO/FTA Approvals /Review? SSO/FTA SharePoint Site* SharePoint Site* 32

How To Become Experts Like Us!! TSSP NTI Read CFR TSI Coursework TRB Regulators APTA FTA Website Knowledgeable Consultant 33

Feel Free to Contact Us Timothy Borchers Principal Consultant SNC-Lavalin Rail & Transit Inc. Rail & Transit Engineering Infrastructure Phone: +1 813-422-2683 Email: Timothy.Borchers@snclavalin.com Yolanda Favors, Esq.,TSSP Compliance SNC-Lavalin Rail & Transit Inc. Rail & Transit Engineering Infrastructure Phone: +1 404-640-2488 Email: Yolanda.Favors@snclavalin.com 34